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  • FINRA, BOX, Cboe, IEX, NASDAQ And NYSE Fine Instinet, LLC For Market Access Rule Violations

    Date 12/04/2018

    Instinet, LLC has been censured and fined a total of $1.575 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access Rule) and related exchange supervisory rules. The action was taken by the Financial Industry Regulatory Authority (FINRA), along with BOX Options Exchange LLC (BOX); the Cboe BZX Exchange, Inc.; Investors Exchange LLC (IEX); The NASDAQ Stock Market LLC; the New York Stock Exchange; and certain of their affiliated Exchanges (collectively, “Exchanges”). The fine was apportioned among FINRA and the Exchanges.

  • CFTC Charges New York Residents Kevin Whylie And Matthew Zecchini And Their Company, Algointeractive Inc, With Commodity Pool Fraud, Misappropriation, And Registration Violations

    Date 12/04/2018

    The Commodity Futures Trading Commission (CFTC) yesterday filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Defendants Kevin P. Whylie of Mamaroneck, New York; Matthew James Zecchini of East Islip, New York; and Algointeractive Inc, a New York corporation owned and controlled by Whylie and Zecchini.  The CFTC Complaint charges that, from approximately April 2016 through the present, Defendants engaged in a fraudulent scheme to solicit at least $300,000 from members of the public to participate in a pooled investment vehicle for futures trading, misappropriated and commingled commodity pool participants’ funds, issued false account statements to pool participants to conceal their trading losses and misappropriation, engaged in false advertising, and failed to register with the CFTC, as required.

  • Unauthorised Use Of ESMA’s Identity And Logo By A Named Individual

    Date 12/04/2018

    The European Securities and Markets Authority (ESMA) has been informed that an individual operating under the name “Edward Stewart” has used ESMA’s identity and logo. This individual is presenting himself as an employee of ESMA conducting investigations in order to steal personal data and convince the potential victims to transfer money.

  • Steve Grob At Fidessa Criticises "Asinine" Letter From Marcus Ferber To ESMA On Periodic Auctions - The Periodic Table

    Date 12/04/2018

    Posted by Steve Grob on Thursday, April 12, 2018 · Leave a Comment 

    I read with interest, and some dismay, Sam Agini’s great piece in Financial News yesterday about Marcus Ferber writing to ESMA be-moaning periodic auctions. Perhaps the most asinine comment attributed to Mr Ferber is that some such mechanisms are a “blatant attempt to undermine the Mifid II provisions aiming at having a larger share of trading in the light”. It is hard to know where to start in deconstructing this statement, but let me have a go anyway. The last part really sums up everything that is wrong with the MiFID regulations. When will regulators and their political masters understand that the idea that “lit is good and dark is bad” is (a) wrong and (b) a gross oversimplification? So much so that it reminds me of Orwell’s sheep in Animal Farm bleating out “4 legs good two legs bad” as they seek to wrest control from their human masters. It’s not as if periodic auctions are anything new either as the concept of auctions has existed pretty much as long as trading has. And, just like the periodic table of elements, the idea covers a huge array of different entities each with their own specific properties and configurations. But, yet again, I fear that in “coming up with strategies”, as Mr Ferber asks, ESMA will ignore this and seek some sort of cap or other blunt instrument that does more harm than good.

  • Pirum Adds 3 Staff To US Operation

    Date 12/04/2018

    Securities Finance Fin Tech provider Pirum Systems, is delighted to announce the expansion of their US operation with the addition of Kristen Dove and Dominique Rose joining the New York team.  In addition Edward Sharpe will be transferring to New York.

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